Patent Office Pilot Program Continuation Applications
By Donald Zuhn --
A number of European firms, including J A Kemp, reported on Friday that the Administrative Council of the European Patent Organisation had passed a change to the rules of the EPC relating to the date on which a document is deemed to be delivered. The change will eliminate the 10-day rule, which has been in place since the 1970's.
As the J A Kemp report notes, under the current rules, documents sent by the European Patent Office are deemed to be delivered ten days after the date printed on the document, which was originally intended to account for the time a document would be in transit when correspondence was sent via postal service. The 10-day rule essentially resulted in a 10-day grace period on deadlines. According to J A Kemp, the elimination of the 10-day rule is an attempt to modernize EPC rules in view of the current practices in the digital age.
The elimination of the 10-day rule is set to take effect on November 1, 2023. After that date, documents sent by the EPO will be deemed to be delivered on the date of the document.
While the J A Kemp report notes that there will be safeguard provisions in place that allow for a document to be deemed delivered after the date on the document in certain circumstances, such provisions "will apply only rarely." However, missed deadlines may in some circumstances be remedied by requesting further processing.
For additional information regarding this topic, please see:
• "BREAKING: EPO to abolish the 10 day rule," The IPKat, October 14, 2022
• "EPO announces end of the '10-day rule'," Forresters, October 14, 2022
• "1 November 2023 - the sun will set on the EPO's Ten-Day Rule," WP Thompson, October 14, 2022
By Donald Zuhn --
USPTO Announces New Patent Public Search Tool
In a Patent Alert email distributed to stakeholders last month, the U.S. Patent and Trademark Office announced the replacement of four legacy search tools -- the Public-Examiner's Automated Search Tool (PubEAST), Public-Web-based Examiner's Search Tool (PubWEST), Patent Full-Text and Image Database (PatFT), and Patent Application Full-Text and Image Database (AppFT) -- with the Office's new Patent Public Search (PPUBS) tool. That replacement took effect on September 30.
The Office noted that PPUBS provides for more convenient, remote, and robust full-text searching of all U.S. patents and U.S. patent application publications. Additional information about PPUBS, including FAQs, training resources, and other information to assist stakeholders in transitioning to the new tool, can be found on the Patent Public Search webpage.
The Office also noted that existing links to U.S. patents and U.S. patent application publications in PatFT and AppFT have been terminated following the retirement of those services (which unfortunately has broken a lot of links on Patent Docs). The Office also noted that stakeholders using PPUBS can directly access U.S. patents and U.S. patent application publications and can set up links for direct document access to such patents and published applications on a webpage or document (a step-by-step guide to performing these functions can be found here: Patent Public Search-Setting up external searches PDF).
USPTO Extends After Final Consideration Pilot 2.0
In a Patent Alert email distributed to stakeholders last week, the U.S. Patent and Trademark Office announced that the After Final Consideration Pilot (AFCP) 2.0 has been extended to September 30, 2023. The Office indicated that the AFCP 2.0 is part of the USPTO's ongoing effort towards compact prosecution and increased collaboration between examiners and stakeholders.
The AFCP, which was implemented in April 2012 (see "USPTO to Assess After Final Consideration Pilot Program"), modified in May 2013 (see "USPTO News Briefs"), and extended several times since then, provides examiners with a limited amount of non-production time -- three hours for utility and reissue applications -- to consider responses filed following a final rejection. The requirements for participating in the AFCP 2.0 are as follows:
(1) a transmittal form that requests consideration under AFCP 2.0 (the Office suggests that applicants use form PTO/SB/434);
(2) a response under 37 CFR 1.116, including an amendment to at least one independent claim that does not broaden the scope of the independent claim in any aspect;
(3) a statement that the applicant is willing and available to participate in any interview initiated by the examiner concerning the accompanying response (according to the Office, "willing and available" means that the applicant is able to schedule the interview within ten (10) calendar days from the date the examiner first contacts the applicant);
(4) any necessary fees (e.g., a request filed more than three months after the mailing of a final rejection must include the appropriate fee for an extension of time under 37 C.F.R. § 1.136(a)); and
(5) the required papers must be filed via the EFS-Web.
Additional information regarding the AFCP 2.0 program can be found on the Office's AFCP 2.0 webpage.
USPTO Extends Cancer Immunotherapy Pilot Program
In a notice published in the Federal Register (87 Fed. Reg. 58772) last week, the U.S. Patent and Trademark Office announced that it has extended the Cancer Immunotherapy Pilot Program, which allows patent applications pertaining to cancer immunotherapy to be advanced out of turn for examination. The pilot program, which was implemented in June of 2016 and has been extended four times previously, is being extended to January 31, 2023 (see "USPTO Implements Pilot Program to Support President's National Cancer Moonshot").
The notice indicates that the requirements of the pilot program have not been modified. Under the pilot program, applications containing at least one claim reciting a method of treating a cancer using immunotherapy will be advanced out of turn for examination if the applicant files a grantable petition to make special, with the goal of completing examination of the application within twelve months of special status being granted.
In order to participate in the pilot program, an applicant must satisfy the following requirements:
(1) File a petition to make special under 37 C.F.R. § 1.102(d) in a non-reissue, nonprovisional utility application filed under 35 U.S.C. § 111(a), or an international application that has entered national stage under 35 U.S.C. § 371. The petition must be filed at least one day prior to the date that notice of a first Office action (which may be an Office action containing only a restriction requirement) appears on PAIR, or with a Request for Continued Examination (RCE). For applications in which the claimed cancer immunotherapy is the subject of an active Investigational New Drug (IND) application, a petition to make special may be accepted any time prior to appeal or final rejection. The Office recommends that applicants use form PTO/SB/443 for filing the petition, as the form contains check boxes that will allow the applicant to comply with several certification requirements under the new pilot program.
(2) The application cannot contain more than three independent claims, more than twenty total claims, or any multiple dependent claims. For applications not meeting this requirement, an applicant must file a preliminary amendment to cancel the excess claims or multiple dependent claims at the time the petition to make special is filed.
(3) The application must include at least one claim to a method of treating a cancer using immunotherapy. The notice explains that such claim must "encompass[] a method of ameliorating, treating, or preventing a malignancy in a human subject wherein the steps of the method assist or boost the immune system in eradicating cancerous cells."
(4) If restriction is required, the applicant must agree to make an election without traverse in a telephonic interview, and elect an invention directed to a method of treating a cancer using immunotherapy. The applicant will be given two working days to respond to an examiner's request for an election, and in the event that the applicant fails to respond within that period, the examiner will treat the first group of claims directed to a method of treating a cancer using immunotherapy as being constructively elected without traverse.
(5) The application cannot have been previously granted special status.
(6) The petition to make special must be filed electronically via the EFS-Web (and the document description "Petition for Cancer Immunotherapy Pilot" must be selected for the petition).
(7) If the application has not been published, the applicant must file a request for early publication in compliance with 37 C.F.R § 1.219 with the petition to make special (or a rescission of a nonpublication request if one was filed).
For the purposes of the pilot program, the Office has waived the fee for a petition to make special under 37 C.F.R. § 1.102(d).
USPTO Unveils USPTO-FDA Collaboration Initiatives Webpage
In a Patent Alert email distributed to stakeholders last week, the U.S. Patent and Trademark Office announced the unveiling of a new webpage for collaboration efforts between the USPTO and the U.S. Food and Drug Administration (FDA). The Office noted that the USPTO-FDA Collaboration Initiatives webpage contains the latest USPTO news, blog articles, reports, and USPTO engagements with the FDA and the public. On the new webpage, the Office states that:
The USPTO is focused on ensuring our patent system incentivizes and protects the investments essential for bringing life-saving and life-altering drugs and biologics to market. At the same time, the USPTO is focused on ensuring our system, as a whole, is not used to improperly delay getting more affordable generic drugs and biosimilars into the hands of Americans who need them.
By Donald Zuhn --
USPTO Launches Webpage on PTE Applications and Patent Terms Extended under 35 U.S.C. § 156
In a Patent Alert email distributed to stakeholders last week, the U.S. Patent and Trademark Office announced the launch of a new webpage providing information regarding applications for patent term extension (PTE) that have been filed within the past five years and patent terms that have been extended under 35 U.S.C. § 156. With regard to PTE applications, the new webpage provides access to a spreadsheet listing the application number, patent number, and trade name identified in the PTE application, and provides a link to the electronic file containing the PTE papers. The USPTO alert indicates that the new webpage was launched in response to stakeholder feedback requesting readily available information about PTE applications. The USPTO plans to update the information on the webpage on a quarterly basis.
USPTO Announces Fourth Extension of Modified COVID–19 Prioritized Examination Pilot Program
In a notice published in the Federal Register (87 Fed. Reg. 38714) in June, the U.S. Patent and Trademark Office announced that it was extending the modified COVID–19 Prioritized Examination Pilot Program, and that requests to participate in the pilot program would be accepted until December 31, 2022. The pilot program, which was implemented in May of 2020 and has been extended three times previously, allows applicants that qualify for small or micro entity status to request prioritized examination without paying the fees typically associated with such prioritized examination (see "USPTO Announces COVID-19 Prioritized Examination Pilot Program").
In addition to the requirement that applicants qualify for small or micro entity status, the claims of a participating application must cover a product or process related to COVID–19, and such product or process must be subject to an applicable FDA approval for COVID–19 use. Such approvals may include, for example, an Investigational New Drug (IND) application, an Investigational Device Exemption (IDE), a New Drug Application (NDA), a Biologics License Application (BLA), a Premarket Approval (PMA), or an Emergency Use Authorization (EUA). Other requirements for participating in the pilot program include making the request at the time of filing of a non-continuing original utility or plant nonprovisional application; at the time of filing of an original utility or plant nonprovisional application claiming the benefit of an earlier filing date under 35 U.S.C. §§ 120, 121, or 365(c) of one prior nonprovisional application or one prior international application designating the United States; or at the time of filing or after the filing of a Request for Continued Examination of a plant or utility application or a national stage of an international application. However, any application that claims the benefit of the filing date of two or more prior filed nonprovisional U.S. applications or international applications designating the United States under 35 U.S.C. §§ 120, 121, or 365(c) is not eligible for participation in the pilot program. In addition, requests to participate in the pilot program must include an Application Data Sheet, be made via the Office's patent electronic filing systems (EFS-Web or Patent Center), and qualifying applications cannot present more than four independent claims, more than 30 total claims, or any multiple dependent claims.
In announcing the extension of the pilot program, the Office noted that as of May 16, 2022, 261 patents had issued from applications that had been accepted under the pilot program, and the average total pendency, from filing date to issue date, for those applications was 280 days.
As we reported earlier this year in our "Top Patent Law Stories of 2021" webinar, of the 149 patents that recite "COVID-19" or "SARS-CoV-2" in the claims (as of January 2022), 89 issued from applications that had been accepted under the pilot program, and the average total pendency for those applications was 280 days. This compared favorably with the 41 patents that recite "COVID-19" or "SARS-CoV-2" in the claims where examination was accelerated under the Track One Prioritized Examination Program, and where the average total pendency was 259 days.
USPTO Announces Continuation of PPH Pilot Program with IMPI
In a notice published in the Official Gazette (1499 OG 496) in June, the U.S. Patent and Trademark Office announced that the Mexican Institute of Industrial Property (IMPI) and USPTO had agreed to extend the Patent Prosecution Highway (PPH) pilot program between the two offices. Under the PPH pilot program, which was extended to June 30, 2027, the USPTO will treat as timely any PPH request based on IMPI work product filed in the USPTO on or before June 30, 2027.
USPTO Makes Electronic Filing of PTE Applications Permanent
In May 2020, the U.S. Patent and Trademark Office announced that because it considered the effects of the COVID-19 pandemic to be an "extraordinary situation" within the meaning of 37 C.F.R. § 1.183, the Office would permit patentees to file initial Patent Term Extension applications that meet certain criteria via EFS-Web or Patent Center (see "USPTO News Briefs, June 2, 2020). At the time, the Office noted that while the waiver would be "effective only until the USPTO provides further notice," it was making efforts to allow for electronic filing of PTE applications on a permanent basis.
In a notice of proposed rulemaking published in the Federal Register (87 Fed. Reg. 27043) in May, the U.S. Patent and Trademark Office announced a proposal to amend the Rules of Practice in Patent Cases to require that patent term extension (PTE) applications, interim PTE applications, and any related submissions to the USPTO be submitted electronically via the USPTO patent electronic filing system (EFS- Web or Patent Center). According to the Office, the proposed rule changes would reduce the administrative burden on PTE applicants, as well as improve administrative efficiency by facilitating electronic file management, optimize workflow processes, and reduce processing errors. The Office noted that it had received informal feedback with respect to the processing of electronic PTE applications under the COVID-19 pandemic waiver, and stakeholders had communicated unanimous support for electronic filing of initial PTE submissions. The Office also noted that the USPTO and its partner agencies had successfully implemented a system by which the USPTO electronically transmits a copy of any initial submission for PTE to the relevant agency, and that the new system had not caused any processing errors.
By Kevin E. Noonan --
Kathi Vidal, Under Secretary of Commerce for Intellectual Property and Director of the U.S. Patent and Trademark Office (at right) released a blog post on the USPTO's Director's Blog on Monday addressing the fraught subject of subject matter eligibility under 35 U.S.C. § 101 as interpreted over the past decade by the U.S. Supreme Court and implemented by the Office in light of those decisions.
As with much of Director's public pronouncements the tone of the post is mostly upbeat, extoling the Office's efforts in accommodating sometimes confusing if not contradictory instructions from the courts (particularly the Federal Circuit, which is somewhat understandable in view of the occasionally Delphic language on the issue by the High Court). Director Vidal references the Office's 2022 report to Congress on "Patent eligible subject matter: Public views on the current jurisprudence in the United States" and the message therein that "across the spectrum, stakeholders generally agreed that the law on patent eligibility—like other areas of patent law—needs to be clear, predictable, and consistently applied." The Director also recites innovation canon in saying that "[t]his clarity and consistency will allow innovators to attract the investment and collaborations that bring more innovation to impact, in turn creating more jobs and solving world problems."
While the sentiments voiced by the Director are admirable (and it would be hard for her to be credible if she didn't subscribe to them) the devil in this instance is not just in the details but in the process of effectuating eligibility determinations within the strictures of recent case law. To this end, the post mentions the Deferred Subject Matter Eligibility Response (DSMER) pilot program (crediting the impetus for this initiative to Senators Thom Tillis (R-NC) and Tom Cotton (R-AK)) and describing the program as being "designed to evaluate whether examination efficiency and patent quality can be improved by delaying the complete evaluation of subject matter eligibility until other patentability criteria are evaluated as opposed to addressing all requirements for patentability at the same time" and reminding stakeholders that it will expire on July 30, 2022 although patent applications involved in the program will persist during the course of their prosecution. Regarding its adoption, the Director's statistics state that about one-third of the 600 invitations the Office has sent have been accepted, the Director drawing no conclusions nor making any statements regarding whether this frequency was expected or consistent with the Office being able to draw any conclusions regarding its effectiveness.
Next the Director notes the series of Guidances, including the 2019 Revised Patent Subject Matter Eligibility Guidance, the October 2019 Patent Eligibility Guidance Update, and theBerkheimer Memo, all of which can be found in Section 2106 of the latest version of the Manual of Patent Examining Procedure. In association with these assertions, the Director provides the encouraging statistic that "the corps-wide eligibility rejection rate [has dropped] from about 25% in 2018 to about 8% today," although it is certainly likely that at least a portion of this improvement is due to applicants adapting to PTO and Federal Circuit standards that have evolved since the Supreme Court began its subject matter eligibility crusade in 2012 with its decision in Mayo Collaborative Services v. Prometheus Laboratories . The Director also references the Office's October 2020 Report on "Public Views on Artificial Intelligence and Intellectual Property Policy" and its "Adjusting to Alice" report on patent examination outcomes released in April 2020. These Reports support the conclusions of the Chief Economist that the 2019 revisions to the Office's eligibility guidance produced a 25% decrease in the frequency of Alice-affected technologies to receive a first Office Action asserting a Section 101 rejection, and that "uncertainty about determinations of patent subject matter eligibility for the relevant technologies decreased by a remarkable 44% as compared to the previous year."
This is all well and good as far as it goes, the Director giving credit to prior Directors, administrators, and the examining corps in reducing somewhat the uncertainties caused by judicially created changes in subject matter eligibility law. But the next sentences undo much of the good feelings produced by these achievements, the Director stating "[d]espite this progress to achieve a more consistent examination under Section 101, there is more work to be done. Accordingly, we are revisiting our subject matter eligibility guidance." To this end, the Director asks the public to provide comments on subject matter eligibility by September 15, 2022 to 101@uspto.gov and by participating in stakeholder listening sessions. While it is certainly the case that subject matter eligibility law remains unsettled, to once again poll stakeholders seems a fool's errand (besides being completely redundant). It is well-established that there are two generic species of applicant: those who believe that the status quo is optimal for them and their business goals and are thus completely satisfied, and those who have been negatively affected by frank preclusion of certain innovative technologies (medical diagnostics being a principal example) and thus are completely dissatisfied (and have been forced to use trade secret and other means to protect their technologies, albeit imperfectly). It is hard to see how another round of these efforts will be more successful than the ones that inauguration of this latest iteration indicates have been inadequate.
Some rays of hope may be found in the concluding statements in the blog post, regarding efforts to consult with counterpart offices in foreign countries, with regard to how those countries have largely avoided the confusion that has arisen in the U.S. (although it is likely that the simple reason for the clarity existing abroad on subject matter eligibility is due entirely to the absence of a Supreme Court in those countries that is involved in making patent policy). To the extent that foreign counterparts can raise any issues current U.S. law or the interpretation thereof on subject matter eligibility that runs afoul of international obligations under the TRIPS agreement such discussions may be helpful. The blog also notes cooperation between the PTO and the DOJ Solicitor General regarding efforts towards identifying "good vehicles" to achieve the goal of "creating more certain and predictable rights that foster innovation."
The simple fact is that the Supreme Court has shown no recognition that its subject matter eligibility jurisprudence needs to be revisited (even when encouraged to do so by the Solicitor General as in the American Axle case), the Federal Circuit has been unwilling to provide a useful counterbalance to the Court's dicta regarding eligibility, and the PTO does not have the authority under the law to bind judicial decision-making. Congress is the answer, as frightening as that reality may be in the current political climate, and despite some efforts has not been able to enact legislation that would improve matters. For the moment, only by taking up Justice Breyer's challenge to the clever draftsman (see "Mayo Collaborative Services v. Prometheus Laboratories -- What Should We Do? (or Can These Claims Be Saved?)") to craft claims sufficient to provide the maximum possible protection with the least risk of invalidation can the situation be ameliorated if not entirely remedied.
By Donald Zuhn --
In a notice published last week in the Federal Register (87 Fed. Reg. 33750), the U.S. Patent and Trademark Office announced the implementation of the Climate Change Mitigation Pilot Program, "which is designed to positively impact the climate by accelerating the examination of patent applications for innovations that reduce greenhouse gas emissions" and "encourage research, development and innovation in the climate space." Applications accepted under the pilot program will be advanced out of turn (i.e., accorded special status) for a first action on the merits. Applications accepted under the pilot program will not, however, have to comply with all of the requirements of the accelerated examination program (e.g., the requirement for an examination support document or the petition fee under 37 C.F.R. § 1.17(h)) or the prioritized examination program (e.g., the prioritized examination fee or processing fee).
The Office started accepting petitions to make special under the pilot program on June 3, 2022, and petitions will continue to be accepted under the pilot program until June 5, 2023 or when the Office has accepted 1,000 grantable petitions, whichever occurs first. The notice indicates that questions regarding a specific petition to make special should be directed to the Office of Petitions.
In order to participate in the pilot program, an Applicant must satisfy the following requirements:
• File a nonprovisional patent application that is ready for examination (including a specification, drawings, if necessary, at least one claim, and payment of all fees associated with the filing of the application). The application must claim a product and/or process that mitigates climate change by reducing greenhouse gas emissions. The notice states that a claimed invention covers a product or process that mitigates climate change "when an application includes a claim that would correspond to one or more of the technical concepts within subclass Y02A, Y02B, Y02C, Y02D, Y02E, Y02P, Y02T or Y02W in the Cooperative Patent Classification (CPC) system," and provides an example of an eligible claim being one to a process to capture or dispose of methane, which would correspond to Y02C 20/20. The notice also indicates that the full schedule of Y02 class can be found here. When the petition is filed and throughout the pendency of the application, the application cannot contain more than 3 independent claims or more than 20 total claims and cannot contain any multiple dependent claims. The application or national stage entry must be electronically filed using Patent Center, and the specification, claims, and abstract must be submitted in DOCX format.
• File a petition to make special under the pilot program along with (a) a noncontinuing original utility nonprovisional application or entry into the national stage under 35 U.S.C. § 371 (that has been electronically filed), or within 30 days of the filing date or entry date of the application, or (b) an original utility nonprovisional application claiming the benefit of an earlier filing date under 35 U.S.C. §§ 120, 121, 365(c), or 386(c) of only one prior nonprovisional application or only one prior international application designating the United States (that has been electronically filed), or within 30 days of the filing date of such application. The notice defines a "noncontinuing application" as an application that is not a continuation, divisional, or continuation-in-part application filed under the conditions specified in 35 U.S.C. §§ 120, 121, 365(c), or 386(c) and 37 C.F.R. § 1.78.
• Certify that (1) the claimed invention covers a product or process that mitigates climate change; (2) the product or process is designed to reduce greenhouse gas emissions; (3) the Applicant has a good faith belief that expediting patent examination of the application will likely have a positive impact on the climate; and (4) the inventor or any joint inventor has not been named as the inventor or a joint inventor on more than four other nonprovisional applications in which a petition to make special under the pilot program has been filed.
• Use Form PTO/SB/457 to comply with the petition and certification requirements. The PTO/SB/457 form must be filed electronically using Patent Center, and form must be filed using the document description indicated on the form.
• Not file the application with a nonpublication request. If the application was previously filed with a nonpublication request, then a rescission of the nonpublication request must be filed no later than the time the petition to make special is filed.
• File an Application Data Sheet with the petition (unless previously filed with the application).
If a petition to make special under the pilot program does not comply with the above requirements, the Office will (in some circumstances) notify the Applicant of the deficiency and give the Applicant the longer of one month or 30 days to correct the deficiency (the deadline to respond to the notice is not extendable). The reply to that notice must be filed via Patent Center. Petitions filed for applications that do not contain an eligible claim; that claim the benefit of two or more prior filed applications that are nonprovisional U.S. applications and/or international applications; or that were not filed within at least 30 days of a qualifying application will be dismissed without the opportunity to correct the deficiency.
If a petition under the pilot program is granted, the Office notes that the accepted application will be placed on an Examiner's special docket until a first office action on the merits has been issued, and after the first action on the merits has been issued, the application will no longer be treated as special during examination and will be placed on the Examiner's regular amended docket.
The notice indicates that if the Examiner makes a telephone restriction requirement, the Applicant must make an election without traverse to an invention that meets the program's eligibility requirements. If the Applicant refuses to make an election, then the special status of the application will be terminated. The notice also indicates that if an amendment in response to a first action is filed that is not fully responsive, the Examiner may, at their discretion, provide a shortened statutory period of 2 months for the Applicant to supply a fully responsive reply. The notice states that while "[t]here is no provision for withdrawal from the pilot program," an Applicant may abandon an application that has been granted special status under the pilot program in favor of a continuing application. The continuing application would have to independently qualify for participation in the pilot program, however.
By Donald Zuhn --
USPTO Terminates Rospatent as ISA and IPEA for International Applications
In a News Brief issued last week, the U.S. Patent and Trademark Office announced that it had notified the Russian Federal Service for Intellectual Property, Patents and Trademarks (Rospatent) of the USPTO's intent to terminate its agreement concerning Rospatent functioning as an International Searching Authority (ISA) and International Preliminary Examining Authority (IPEA) for international applications received by the USPTO as a Receiving Office under the Patent Cooperation Treaty (PCT). The USPTO noted that the termination will take effect on December 1, 2022. In announcing the termination, the USPTO suggested that "[i]n the interim, applicants filing international applications under the PCT are advised to exercise caution before selecting Rospatent as an ISA or IPEA."
Patent Docs readers will recall that in March, the USPTO announced the termination of engagement with Rospatent (and also with the Eurasian Patent Organization (EAPO) and National Center of Intellectual Property (NCIP) in Belarus), and then announced that it would no longer grant requests to participate in the Global Patent Prosecution Highway (GPPH) at the USPTO when such requests were based on work performed by Rospatent as an Office of Earlier Examination under the GPPH, and then advised Applicants filing international applications under the Patent Cooperation Treaty (PCT) to exercise caution before selecting Rospatent as an International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA).
USPTO Unveils New Patent Quality Metrics Webpage
In a Patent Alert email distributed to stakeholders last week, the U.S. Patent and Trademark Office announced the launch of a new quality metrics webpage (see below), which shares the metrics that the Office uses to gauge patent examination quality. In unveiling the new webpage, the Office noted that it is committed to "advancing a patent system that works for the public good," and as such was "focusing on [its] mission to issue robust and reliable patents that incentivize and protect innovation and investments." The Office declared that "[t]he first step in that process is looking at patent quality, processes, and perceptions." According to the Office's email, the new webpage reveals how the Office assesses the quality of its processes and measures stakeholder perceptions. The Office notes that moving forward, it will use the data on the webpage, as well as internal, Patent Public Advisory Committee, and other stakeholder input, to guide patent examination improvements. The Office also noted that it is soliciting and considering quality measures and changes, and asked that feedback or questions about the Office's patent quality metrics be sent to qualitymetrics@uspto.gov or patentquality@uspto.gov. The quality metrics webpage can also be accessed through the Office's Patents Data Visualization Center webpage.
USPTO Reopens Facilities to the Public
In a News Brief distributed to stakeholders last month, the U.S. Patent and Trademark Office announced that it had entered Phase 3 and had reopened its facilities to the public. The Office noted that on May 25, it had "fully reopened all locations to employees and resumed some in-person events and appointments for the public." The Office noted that visitors should review its health questionnaire prior to entering one of the Office's locations, and may not enter facilities if they answer "yes" to any of the following questions on the questionnaire:
1. In the last 10 days, have you tested positive for COVID-19 or been told by a healthcare provider that you are presumed positive?
2. In the last 48 hours, have you experienced any of the below symptoms that cannot be explained by something other than COVID-19?
3. If you have recently traveled (internationally or domestically), are you currently subject to any federal, state, tribal, or local quarantine or isolation requirements (requirements may vary depending on your vaccination status)?
4. In the last 10 days, have you been in close contact (6 feet or closer for a cumulative total of 15 minutes over a 24-hour period) with an individual who tested positive or is presumed positive for COVID-19, or has any health official or medical provider informed you that you have potentially been exposed to COVID-19? [The last question applies to visitors who "are not up to date on [their] COVID-19 vaccinations and have not had COVID-19 within the last 90 days".]
The Office noted that its continues to monitor local conditions for all of its locations as determined by the Center for Disease Control's (CDC) COVID-19 community levels, and that such levels can be low, medium, or high. In communities with low or medium transmission levels, wearing a mask in the Office's buildings is optional, and in communities with high transmission levels, wearing a mask in the Office's buildings is mandatory. The Office's locations are: Alexandria, VA; Dallas, TX; Denver, CO; Detroit, MI; and San Jose, CA. Additional information on the USPTO's COVID-19 protocols can be found at the Office's COVID-19 webpage.
By Donald Zuhn --
In a notice published last week in the Federal Register (87 Fed. Reg. 25226), the U.S. Patent and Trademark Office announced that it will allow Applicants to submit an applicant-generated PDF version of applications filed in DOCX format along with the DOCX file when filing an application using the Office's Patent Center interface.
In August of 2020, the Office announced that for applications that are not filed in DOCX format after January 1, 2022, such filings would carry a surcharge of $400 for large entities under 37 C.F.R. § 1.16(u). Last November, the Office announced that the effective date for assessment of the surcharge would be delayed until January 1, 2023 (see "USPTO News Briefs").
The Office has been encouraging Applicants to begin filing patent applications in DOCX format, and by allowing Applicants to submit an applicant-generated PDF version of applications filed in DOCX format, the Office hopes to help address concerns some Applicants have raised about the DOCX format, as well as allow Applicants to get acclimated to the process of filing applications in DOCX format. The Office notes that the option of providing an applicant-generated PDF version of applications is being offered on a temporary basis, beginning on April 28, 2022 and ending (at least as of now) on December 31, 2022. Applicants who submit an applicant-generated PDF version of applications filed in DOCX format will not be required to pay any additional fees, such as application size fees, for the PDF version.
The Office has created a new document description for the optional applicant-generated PDF ("Auxiliary PDF of application") and a new document code ("AUX.PDF"). The Office also notes that the option of providing an applicant-generated PDF version of applications will not be available for applications filed via the EFS-Web.
The notice indicates that the new option will "safeguard the applicant should any conversion discrepancies have taken place" when filing applications in DOCX format. In particular, Applicants who submit an applicant-generated PDF version of applications filed in DOCX format will be able to rely on that PDF if a discrepancy occurs during the filing process. The notice also indicates that if an error or discrepancy in the record that resulted from filing an application in DOCX format is identified, Applicants should promptly notify the Patent Electronic Business Center (EBC) at 866–217–9197 (toll-free), 571–272–4100, or ebc@uspto.gov so the EBC can investigate the issue. For corrections to the record that are supported by the validated DOCX version of the application, the Office notes that Applicants can file a petition under 37 C.F.R. § 1.181. For corrections to the record that are supported by the applicant-generated PDF, the Office notes that Applicants should file a petition under 37 C.F.R. § 1.182. For petitions filed under § 1.182, the Office will be waiving the fee under 37 C.F.R. § 1.17(f) during the option's temporary period. According to the notice, the applicant-generated PDF that accompanies a DOCX filing will not become part of the permanent record unless a petition is filed requesting that the Office correct the record in view of the applicant-generated PDF.
The Office concludes the notice by stating that:
Applicants are strongly encouraged to review their applications, including the USPTO-generated PDF, shortly after filing the application to identify any errors or discrepancies in the record, as discussed above. The applicant should file any necessary petition to correct the record early in prosecution and promptly after discovering any errors or discrepancies.
For additional information regarding this topic, please see:
• "USPTO News Briefs," November 22, 2021
• "USPTO Support for Filing in DOCX Format Still a Work in Progress," January 7, 2020
• "USPTO News Briefs," November 12, 2019
By Donald Zuhn --
USPTO Launches New Patent Search Tool
In a press release issued earlier this year, the U.S. Patent and Trademark Office announced the launch of a new Patent Public Search tool. The Office notes that the new patent search tool, which is based on the Patents End-to-End (PE2E) search tool that USPTO Examiners use to identify prior art, will provide for convenient and robust full-text searching of U.S. patents and published patent applications.
The tool combines the capabilities of the Public-Examiner's Automated Search Tool (PubEAST), Public-Web-based Examiner's Search Tool (PubWEST), Patent Full-Text and Image Database (PatFT), and Patent Application Full-Text and Image Database (AppFT), all of which are scheduled to be retired in September. Previously, stakeholders could only access PubEAST and PubWEST at a USPTO facility, but with the launch of the new tool, anyone with internet access can perform such searches.
The Office notes that the following benefits are provided by the new search tool:
• Layouts: Multiple layouts with multiple tools to provide more data at once
• Highlighting: Multi-color highlighting that can be viewed across multiple gadgets and turned on or off
• Tagging: Ability to tag documents into multiple groups that can be renamed and color coordinated
• Notes: Ability to add notes to an image with options to include tags, relevant claims, and highlights
• Quality: Robust full-text searching of U.S. patents and published applications
• Familiar usability: Same searching syntax as PubEAST and PubWEST
With the launch of the new search tool, the Office has also launched a Patent Public Search webpage, which includes FAQs, training resources, and other information to help users work with the new search tool. Questions concerning the Patent Public Search tool can be directed to the Public Search Facility at psf@uspto.gov.
USPTO Further Extends COVID-19 Prioritized Examination Pilot Program
In a notice published last month in the Federal Register (87 Fed. Reg. 17073), the U.S. Patent and Trademark Office announced a third extension of the modified COVID-19 Prioritized Examination Pilot Program. Requests to participate in the pilot program that are compliant with the program's requirements and are filed on or before June 30, 2022, will be accepted in the pilot program.
The Office implemented the COVID-19 Prioritized Examination Pilot Program in May 2020. The pilot program allows applicants that qualify for small or micro entity status to request prioritized examination without paying the fees typically associated with such prioritized examination. To qualify for the pilot program, the claims of an application must cover a product or process related to COVID–19, and such product or process must be subject to an applicable FDA approval for COVID–19 use. Such approvals may include, for example, an Investigational New Drug (IND) application, an Investigational Device Exemption (IDE), a New Drug Application (NDA), a Biologics License Application (BLA), a Premarket Approval (PMA), or an Emergency Use Authorization (EUA). In September 2021, the Office extended the program to December 31, 2021, and modified the program to remove the limit on the number of patent applications that could be accepted under the pilot program. In December 2021, the Office extended the pilot program again, this time to Match 31, 2022.
In its latest notice on the pilot program, the Office indicates that as of February 7, 2022, 225 patents had issued from applications granted prioritized status under the program. The Office also notes that the average total pendency of applications in the program, from filing date to issue date, was 298 days, and that the shortest pendency from filing date to issue date was 75 days.
USPTO Publishes Notice of Termination of Global PPH with Rospatent
Last month, the U.S. Patent and Trademark Office announced that it would no longer grant requests to participate in the Global Patent Prosecution Highway (GPPH) at the USPTO when such requests are based on work performed by Rospatent as an Office of Earlier Examination under the GPPH, with the change taking effect on March 11 (see "USPTO Terminates PPH with Rospatent and Terminates Engagement with NCIP"). The USPTO also noted that in pending cases in which it had already granted special status under the GPPH to applications based on work performed by Rospatent, the Office would be removing that status and returning those applications to the regular processing and examination queue. Earlier today, the change in the GPPH with Rospatent that the Office announced last month was published in the Federal Register (87 Fed. Reg. 19486).
By Donald Zuhn –-
Earlier this month, the U.S. Patent and Trademark Office announced that it was terminating engagement with officials from the Russian Federal Service for Intellectual Property (Rospatent) and Eurasian Patent Organization (EAPO), per guidance issued by the U.S. Department of State (see "USPTO Terminates Engagement with Rospatent and EAPO"). Nearly a week later, the USPTO announced that it would no longer grant requests to participate in the Global Patent Prosecution Highway (GPPH) at the USPTO when such requests are based on work performed by Rospatent as an Office of Earlier Examination under the GPPH (see "USPTO Terminates PPH with Rospatent and Terminates Engagement with NCIP"). The USPTO also announced at that time that it had terminated engagement with officials from the national intellectual property office of Belarus (i.e., the National Center of Intellectual Property (NCIP)).
In a USPTO Alert email distributed earlier today, the Office advised stakeholders that questions regarding dealings with Rospatent should be directed to the U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) via email at OFAC_Feedback@treasury.gov. The Office also advised Applicants filing international applications under the Patent Cooperation Treaty (PCT) to exercise caution before selecting Rospatent as an International Searching Authority (ISA) or International Preliminary Examining Authority (IPEA), explaining that "[d]oing so may prevent successful processing of international applications under the PCT, including the transmittal of fees through financial institutions." The USPTO updated its guidance statement regarding engagement with Rospatent, EAPO, and NCIP to include the above advice.
For additional information regarding this and other related topics, please see:
• "Georgian and Estonian Patent Offices Join Other IP Offices in Expressing Support for Ukraine," March 13, 2022
• "Several Law Firms Close Russian Offices," March 13, 2022
• "Russia Permits Uncompensated Use of Certain Patents without Patentee Consent," March 11, 2022
• "Lithuanian Patent Office and EUIPO Join Other Patent Offices in Expressing Support for Ukraine," March 10, 2022
• "USPTO Terminates PPH with Rospatent and Terminates Engagement with NCIP," March 10, 2022
• " Life Sciences Business Leaders Call for Immediate and Complete Economic Disengagement from Russia," March 9, 2022
• "PRH Joins Other Patent Offices in Expressing Support for Ukraine," March 9, 2022
• "USPTO Terminates Engagement with Rospatent and EAPO," March 7, 2022
• "Ukrpatent Continues Normal Operations Despite Russian Aggression," March 6, 2022
By Donald Zuhn –-
Last week, the U.S. Patent and Trademark Office announced that it was terminating engagement with officials from the Russian Federal Service for Intellectual Property (Rospatent) and Eurasian Patent Organization (EAPO), per guidance issued by the U.S. Department of State (see "USPTO Terminates Engagement with Rospatent and EAPO").
In an email alert distributed to stakeholders earlier today, the USPTO announced that it will no longer grant requests to participate in the Global Patent Prosecution Highway (GPPH) at the USPTO when such requests are based on work performed by Rospatent as an Office of Earlier Examination under the GPPH. The change is set to take effect on Friday, March 11, 2022. Moreover, the USPTO noted that in pending cases in which it has already granted special status under the GPPH to applications based on work performed by Rospatent, the USPTO will remove that status and return those applications to the regular processing and examination queue. Thus, those applications will no longer be treated as GPPH applications at the USPTO. In its alert, the USPTO indicated that it had advised the Japan Patent Office (JPO), which serves as the Secretariat for the GPPH, of its decision.
The USPTO also issued a news brief today in which the Office announced that it has now terminated engagement with officials from the national intellectual property office of Belarus (i.e., the National Center of Intellectual Property (NCIP)). The news brief also addressed the termination of the GPPH with Rospatent.
By Donald Zuhn –-
On Friday, the U.S. Patent and Trademark Office issued a statement in which the Office indicated that it "has terminated engagement with officials from Russia's agency in charge of intellectual property, the Federal Service for Intellectual Property (commonly known as Rospatent), and with the Eurasian Patent Organization [EAPO]." The Office noted that the termination of engagement with Rospatent and EAPO was in keeping with guidance issued by the U.S. Department of State. The Office's statement concluded that "[l]ike so many, we are deeply saddened by the events unfolding in Ukraine. We hope for the restoration of peace and human dignity."
By Donald Zuhn –-
Last week, the American Intellectual Property Organization (AIPLA) and Intellectual Property Owners Association (IPO) sent a letter to Sen. Chuck Schumer (D-NY), the Senate Majority Leader, and Sen. Mitch McConnell (R-KY), the Senate Minority Leader, to "urge the U.S. Senate to move swiftly to confirm" Kathi Vidal, the Managing Partner of Winston & Strawn's Silicon Valley office, as the next Under Secretary of Commerce for Intellectual Property and Director of the U.S. Patent and Trademark Office. In their letter, the AIPLA and IPO declared that Ms. Vidal (at right) has "a sterling resume and is abundantly qualified for this position."
The AIPLA and IPO also noted that "[t]his critical position has been vacant of long-term leadership for more than a year" (406 days as of March 2, 2022). Former USPTO Director Andrei Iancu held the position until January 20, 2021, when Joe Biden was sworn in as the 46th President. President Biden nominated Ms. Vidal for Under Secretary of Commerce for Intellectual Property and USPTO Director on October 26, 2021. Ms. Vidal's confirmation hearing was held on December 1, 2021 and the Senate Judiciary Committee voted 17-5 on January 12, 2022 to forward her nomination to the full Senate.
Noting that "the intellectual property system is critical to the U.S. economy and a foundation of U.S. leadership in innovation and technological advancement," the AIPLA and IPO asserted that "[t]he appointment of a qualified Director to lead the agency is particularly important to U.S. innovation." The IP associations also argued that "[t]he lack of a presidentially appointed and Senate-confirmed Director hampers the agency's ability to effect policy and fully support stakeholders in the innovation ecosystem."
By Donald Zuhn –-
Last month, the U.S. Patent and Trademark Office released its Performance and Accountability Report for Fiscal Year 2021 (FY 2021). The Report notes that in 2018 the Office issued its 2018-2022 Strategic Plan, which "outlines the framework that enables the USPTO to respond to domestic and international customers' demands for vital and timely IP products and services and builds on the agency's current organizational effectiveness and efficiency." The Report also notes that "[t]o fulfill the mission and goals included in the 2018-2022 Strategic Plan, the USPTO developed a comprehensive Strategic Performance Framework."
The FY 2021 Report specifies nine strategic plan key performance outcome measures that are designed to monitor progress as the Office implements initiatives to achieve its strategic goals (two of the measures are related to the Office's goal to optimize patent quality and timeliness). According to the Report, the Office met or exceeded its targets for seven of the nine key performance metrics. Table 3 of the Report provides data for the two patent-related performance targets (click on any table to expand):
The two patent-related performance targets relate to PTA compliance, with the Office continuing its efforts to achieve a pendency goal that 90% of both total performance (i.e., mailed actions) and total (i.e., remaining) inventory be within statutory time frames set by 35 U.S.C. § 154(b). The Report notes that the statutory time frames (i.e., PTA categories) are as follows:
• Fourteen months from the filing date of a patent application to the mailing date of a first office action (a statement of the Examiner's position and the primary action to establish the issues that exist)
• Four months to respond to an amendment, which includes an RCE
• Four months to act on a decision from the PTAB
• Four months to issue a patent after payment of the issue fee
• Thirty-six months from the filing date of an application to the issue date of a patent
Table 9 of the Report provides a breakdown of the Office's performance for each of these PTA categories with respect to mailed actions and remaining inventory:
The Report also notes that the number of utility applications filed decreased from 603,669 in FY 2020 to 593,294 in FY 2021, which constituted a 1.7% decrease in filings (see Table 1 below). This followed a 2.5% decrease in application filings in FY 2020 and a 3.3% increase in application filings in FY 2019.
The Report also indicates that while the Office accepted more than 600,000 patent applications for the ninth straight year and topped 500,000 applications for the twelfth consecutive year (see Table 2 below), and despite the second consecutive drop in applications filed, the number of applications awaiting action rose from 630,873 in FY 2020 to 645,573 in FY 2021 (see Table 3 below). It was the Office's fourth consecutive increase in the number of applications awaiting action. The total number of pending applications also increased from 1,011,827 in FY 2020 to 1,045,177 in FY 2021.
After increasing from 336,846 utility patent issuances in FY 2019 to 360,784 in FY 2020, patent issuances dropped in FY 2021, falling to 338,335 (see Table 6 below). It was the first drop in utility patent issuances since FY 2018.
As noted above, the Office now uses PTA compliance rather than first action and total pendency as patent-related performance targets. Given the mixed results obtained for first action and total pendency, the change in patent-related performance targets was convenient. In particular, first action pendency increased from 14.8 months in FY 2020 to 16.9 months in FY 2021 despite a drop in patent filings, and total pendency remained unchanged in FY 2021 at 23.3 months (see Table 4 below).
When comparing pendency statistics by Technology Center, Tech Center 2600 (communications) produced the best average first action pendency (13.5 months), and Tech Center 1700 (chemical and materials engineering) produced the worst average first action pendency (18.8 months) (see Table 4 below). As for total average pendency, Tech Center 2600 also produced the best total average pendency (19.9 months), with Tech Center 1700 and Tech Center 3700 (mechanical engineering, manufacturing, and products) producing the worst total average pendency (26.7 months).
For additional information regarding this and other related topics, please see:
• "USPTO Releases Performance and Accountability Report for FY 2018," February 6, 2019
• "USPTO Releases Performance and Accountability Report for FY 2016," February 6, 2017
• "USPTO Issues Performance and Accountability Report for FY 2015," March 3, 2016
• "USPTO Issues Performance and Accountability Report for FY 2014," April 7, 2015
• "USPTO Releases Performance and Accountability Report for FY 2013," January 9, 2014
• "USPTO Releases Performance and Accountability Report for FY 2012," November 28, 2012
• "USPTO Releases Performance and Accountability Report for FY 2011," November 30, 2011
• "USPTO Releases 2010 Performance and Accountability Report," November 17, 2010
• "USPTO Announces 'Highest Performance Levels in Agency's History' in 2008," November 18, 2008
• "USPTO Announces 'Record Breaking' 2007 Performance," November 15, 2007
• "Patent Office Announces Record-Breaking Year," December 27, 2006
By Donald Zuhn --
Updated First Office Action Estimator Tool Now Available
In a Patent Alert email distributed earlier today, the U.S. Patent and Trademark Office announced that an updated First Office Action Estimator online tool is now available to Applicants for use in obtaining time estimates for the issuance of first Office actions in applications. The updated First Office Action Estimator online tool can be accessed here.
In announcing the availability of the updated tool, the Office noted that the methodology for assigning patent applications to Examiners had changed in FY 2021, and as a result, the First Office Action Estimator tool was updated to account for the new methodology. The Office also noted that the estimates provided by the First Office Action Estimator are not guaranteed, and that a first Office action estimate will not be available for an application if the application has not yet been classified under the Cooperative Patent Classification (CPC).
USPTO Extends Modified COVID–19 Prioritized Examination Pilot Program
In a notice published last month in the Federal Register (86 Fed. Reg. 74406), the U.S. Patent and Trademark Office announced that it was extending the modified COVID–19 Prioritized Examination Pilot Program, and that requests to participate in the pilot program would be accepted until March 31, 2022. The pilot program, which was implemented in May of 2020, allows applicants that qualify for small or micro entity status to request prioritized examination without paying the fees typically associated with such prioritized examination (see "USPTO Announces COVID-19 Prioritized Examination Pilot Program").
In addition to the requirement that applicants qualify for small or micro entity status, the claims of a participating application must cover a product or process related to COVID–19, and such product or process must be subject to an applicable FDA approval for COVID–19 use. Such approvals may include, for example, an Investigational New Drug (IND) application, an Investigational Device Exemption (IDE), a New Drug Application (NDA), a Biologics License Application (BLA), a Premarket Approval (PMA), or an Emergency Use Authorization (EUA). Other requirements for participating in the pilot program include making the request at the time of filing of a non-continuing original utility or plant nonprovisional application; at the time of filing of an original utility or plant nonprovisional application claiming the benefit of an earlier filing date under 35 U.S.C. §§ 120, 121, or 365(c) of one prior nonprovisional application or one prior international application designating the United States; or at the time of filing or after the filing of a Request for Continued Examination of a plant or utility application or a national stage of an international application. However, any application that claims the benefit of the filing date of two or more prior filed nonprovisional U.S. applications or international applications designating the United States under 35 U.S.C. §§ 120, 121, or 365(c) is not eligible for participation in the pilot program. In addition, requests to participate in the pilot program must include an Application Data Sheet, be made via the Office's patent electronic filing systems (EFS-Web or Patent Center), and qualifying applications cannot present more than four independent claims, more than 30 total claims, or any multiple dependent claims.
In announcing the extension of the pilot program, the Office noted that as November 29, 2021, 180 patents had issued from applications that had been accepted under the pilot program, and the average total pendency, from filing date to issue date, for those applications was 276 days.
As we reported in our recent "Top Patent Law Stories of 2021" webinar, of the 149 patents that recite "COVID-19" or "SARS-CoV-2" in the claims, 89 issued from applications that had been accepted under the pilot program, and the average total pendency for those applications was 280 days. This compares favorably with the 41 patents that recite "COVID-19" or "SARS-CoV-2" in the claims where examination was accelerated under the Track One Prioritized Examination Program, and where the average total pendency was 259 days.
USPTO Announces Change in Electronic Retrieval of Priority Documents Between USPTO and EPO
In a notice published last month in the Official Gazette (1493 OG 877), the U.S. Patent and Trademark Office announced that as of January 1, 2022, electronic retrieval of priority documents between the USPTO and the European Patent Office will be managed via the World Intellectual Property Organization (WIPO) Digital Access Service (DAS). As a result, when claiming priority to a European patent application in a U.S. application filed on or after January 1, 2022, Applicants must submit the country code (i.e., EP), application number, filing date, and WIPO DAS access code associated with the European priority application that is to be retrieved from the EPO by the USPTO via the WIPO DAS. The notice indicates that the foreign priority information section of the Application Data Sheet (form PTO/AIA/14) includes an access code field for providing the WIPO DAS access code. For applications that were filed prior to January 1, 2022, Applicants are encouraged to voluntarily provide the WIPO DAS access code for EPO priority applications when submitting an Application Data Sheet for such applications.
Acknowledgement of WIPO DAS access codes will appear on U.S. application filing receipts. The Office encourages Applicants to review filing receipts to verify that the Office has acknowledged submission of a WIPO DAS access code. The Office's notice reminds Applicants that they continue to bear the ultimate responsibility for ensuring that the priority document is filed by the time limit set forth in 37 C.F.R. § 1.55.
The Office notes that the certified copy requirement of 35 U.S.C. § 119(b) and 37 C.F.R. § 1.55 is satisfied when a foreign priority document is retrieved electronically via the WIPO DAS during the pendency of the U.S. application. The Office's notice also indicates that as of June 30, 2023, the USPTO will be unable to retrieve European priority applications without a WIPO DAS access code.
Further information on priority document exchange via WIPO DAS can be found on the USPTO's Electronic Priority Document Exchange (PDX) Program webpage.
Source: https://www.patentdocs.org/patent_office_rules_procedures/
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